Investment adviser firms: Under $100 million in regulatory AUM · Page 3
Grouped by reported regulatory assets under management in each firm's displayed source month. Missing or quarantined AUM is excluded; exact zero is included. These groups do not rank performance or quality.
1,145 firms · Source months shown: July 2026 and August 2026
- CANNON GLOBAL INVESTMENT MANAGEMENT, LLCCRD 301911 · DAVIE, FL$92,902,437.00Regulatory AUM · August 2026
- CANTERBURY INVESTMENT MANAGEMENT, LLCCRD 125680 · ZIONSVILLE, IN$69,839,871.00Regulatory AUM · August 2026
- CAPITAL DESIGN PRIVATE WEALTH LLCCRD 300472 · PORTSMOUTH, NH$96,033,232.00Regulatory AUM · August 2026
- CAPITAL FORMATION ADVISERS LLCCRD 111815$68,447,213.00Regulatory AUM · August 2026
- CAPITAL INSIGHTS GROUP OF WNY, LLC.CRD 282909 · BUFFALO, NY$58,588,365.00Regulatory AUM · August 2026
- CAPITAL MANAGEMENT ADVISORS INCCRD 110447 · MARIETTA, GA$52,004,472.00Regulatory AUM · August 2026
- CAPITAL MANAGEMENT ASSOCIATES INCCRD 104783 · NEW YORK, NY$68,740,380.00Regulatory AUM · August 2026
- CAPITAL Q MANAGEMENT LLCCRD 305337 · MAITLAND, FL$93,408,051.00Regulatory AUM · August 2026
- CAPRA CREDIT MANAGEMENT, LLCCRD 281736 · NEW YORK, NY$45,129,956.00Regulatory AUM · August 2026
- CAPRA IBEX CREDIT OPPORTUNITIES, LLCCRD 332538 · NEW YORK, NY$45,129,956.00Regulatory AUM · August 2026
- CAPSIGMA INVESTMENT PARTNERS LTDACRD 336478$61,609,497.00Regulatory AUM · August 2026
- CAROSA STANTON ASSET MANAGEMENT, LLCCRD 104588 · MENDON, NY$50,745,803.00Regulatory AUM · August 2026
- CASTFIRM ADVISORS LLCCRD 327519 · GARDEN CITY, NY$30,000,000.00Regulatory AUM · August 2026
- CASTLEARK ALTERNATIVES, LLCCRD 288893 · CHICAGO, IL$8,240,000.00Regulatory AUM · August 2026
- CATALYST INTERNATIONAL ADVISORS LLCCRD 306592 · SAN JUAN, PR$58,019,919.00Regulatory AUM · August 2026
- CATERER GOODMAN PARTNERS LTDCRD 314975$15,287,918.00Regulatory AUM · August 2026
- CATHAY CAPITAL NA, LLCCRD 268816 · NEW YORK, NY$76,611,428.00Regulatory AUM · August 2026
- CATTON CAPITAL PARTNERS, LLCCRD 339336 · SAN FRANCISCO, CA$39,595,809.00Regulatory AUM · August 2026
- CAZ GP STAKES ADVISER LLCCRD 338168 · HOUSTON, TX$99,029,519.00Regulatory AUM · August 2026
- CBF ADVISORS, LLCCRD 134079 · NEW YORK, NY$46,625,534.00Regulatory AUM · August 2026
- CBIZ FINANCIAL SOLUTIONS, INC.CRD 16678 · CLEVELAND, OH$8,873,081.00Regulatory AUM · August 2026
- CCM NEW OPPORTUNITIES, LLCCRD 301887 · MERRIAM, KS$1,296,970.00Regulatory AUM · August 2026
- CENTER LAKE CAPITAL MANAGEMENT, LLCCRD 174311 · WEST PALM BEACH, FL$77,933,741.00Regulatory AUM · August 2026
- CENTRALIS CAPITAL LLCCRD 305897 · PRAIRIE VILLAGE, KS$60,271,669.00Regulatory AUM · August 2026
- CHACON DIAZ & DI VIRGILIO WEALTH MANAGEMENT, LLCCRD 154242 · GAINESVILLE, FL$90,324,490.00Regulatory AUM · August 2026
- CHANAKYA CAPITAL PARTNERS IFSC LLPCRD 337457$18,999,228.00Regulatory AUM · August 2026
- CHANNEL INVESTMENT PARTNERS LLCCRD 308031$7,606,900.00Regulatory AUM · August 2026
- CHILDFREE WEALTH, LLCCRD 316489$20,713,228.00Regulatory AUM · August 2026
- CHLASTAWA, ALLAN FRANKCRD 288859$67,244,269.00Regulatory AUM · August 2026
- CHRISTENSEN GROUP FINANCIAL, LLCCRD 318144 · EDEN PRAIRIE, MN$24,816,321.00Regulatory AUM · August 2026
- CHRISTMAS CORPORATIONCRD 282245$4,176,795.00Regulatory AUM · August 2026
- CIO CAPITAL GROUP LLCCRD 336490 · NEW YORK, NY$40,052,370.00Regulatory AUM · August 2026
- CIRCLE N ADVISORS, LLCCRD 271027 · FISHKILL, NY$94,202,372.00Regulatory AUM · August 2026
- CK ADVISORS, LLCCRD 140062$96,656,470.00Regulatory AUM · August 2026
- CLARION CALL CAPITAL LLCCRD 333446 · NEW YORK, NY$66,477,755.00Regulatory AUM · August 2026
- CLARIVOR LLCCRD 309994$4,407,725.00Regulatory AUM · August 2026
- CLASS VI VENTURES, LLCCRD 328904 · DENVER, CO$14,904,815.00Regulatory AUM · August 2026
- CLEARVIEW FINANCIAL PLANNING, INC.CRD 291834 · SOUTHOLD, NY$37,892,188.00Regulatory AUM · August 2026
- CLEVERALPHA ASSET MANAGEMENT, LLCCRD 301620 · HAWTHORNE, CA$28,324,971.00Regulatory AUM · August 2026
- CLOCKWISE CAPITAL LLCCRD 175233 · MIAMI, FL$71,533,792.00Regulatory AUM · August 2026
- CLOVER LEAF FINANCIAL LLCCRD 335751 · FAIRPORT, NY$75,000,000.00Regulatory AUM · August 2026
- CLPF LLCCRD 312448$80,956,080.00Regulatory AUM · August 2026
- CNL FUND ADVISORS II, LLCCRD 174178 · ORLANDO, FL$19,949,432.00Regulatory AUM · August 2026
- CNL RESIDENTIAL CREDIT MANAGER, LLCCRD 335786 · ORLANDO, FL$47,989,382.00Regulatory AUM · August 2026
- COASTAL EQUITY MANAGEMENT, LLCCRD 331518 · PENSACOLA, FL$7,340,000.00Regulatory AUM · August 2026
- COASTAL PRIVATE WEALTH MANAGEMENT LLCCRD 327867 · NEW YORK, NY$45,108,910.00Regulatory AUM · August 2026
- COLAB CAPITAL, LLCCRD 338182 · ST. GEORGE, UT$1,371,882.00Regulatory AUM · August 2026
- COLLECTIVE WEALTH PARTNERS, LLCCRD 317519 · ATLANTA, GA$59,900,000.00Regulatory AUM · August 2026
- COLLEGA CAPITAL MANAGEMENT, S.R.L.CRD 158829$81,400,000.00Regulatory AUM · August 2026
- COLOMB INVESTMENT MANAGEMENT COMPANY, LLCCRD 140088 · METAIRIE, LA$4,651,207.00Regulatory AUM · August 2026
- COLUCCI WEALTH MANAGEMENT LLCCRD 338046 · BRIGHTWATERS, NY$80,796,246.00Regulatory AUM · August 2026
- COMPASS INVESTMENTS LLCCRD 141323 · PITTSBURGH, PA$93,158,481.00Regulatory AUM · August 2026
- COMPLETE ADVISORS PLUS LLCCRD 307127 · VALLEY STREAM, NY$84,185,767.00Regulatory AUM · August 2026
- COMPREHENSIVE CAPITAL MANAGEMENT, INC.CRD 119890 · TOTOWA, NJ$77,535,519.00Regulatory AUM · August 2026
- CONCERT INVESTMENT ADVISORY LLCCRD 304522$91,116,908.00Regulatory AUM · August 2026
- CONCOURSE CAPITAL ADVISORS, LLCCRD 336424 · ATLANTA, GA$36,091,513.00Regulatory AUM · August 2026
- CONCREIT FUND MANAGEMENT LLCCRD 310737 · SEATTLE, WA$9,036,332.00Regulatory AUM · August 2026
- CONNECTIVE WEALTH PARTNERS, LLCCRD 335624$77,567,476.00Regulatory AUM · August 2026
- CONNETIC RIA LLCCRD 329078 · COVINGTON, KY$41,308,412.00Regulatory AUM · August 2026
- CONRAD CAPITAL MANAGEMENT, INC.CRD 113648 · HAUPPAUGE, NY$90,669,924.00Regulatory AUM · August 2026
- CONSTELLATION ASSET MANAGEMENT, INC.CRD 125704 · FAYETTEVILLE, NY$79,293,570.00Regulatory AUM · August 2026
- CONTEGO CAPITAL GROUP, INC.CRD 128518 · EDINA, MN$87,999,479.00Regulatory AUM · August 2026
- CORGI STRATEGIES, LLCCRD 337985 · SAN FRANCISCO, CA$10,011,200.00Regulatory AUM · August 2026
- CORINTHIAN PARTNERS ASSET MANAGEMENT LLCCRD 109385 · NEW YORK, NY$62,900,000.00Regulatory AUM · August 2026
- CORNERSTONE ADVISORS LLCCRD 325163 · FAYETTEVILLE, AR$7,181,530.00Regulatory AUM · August 2026
- COUNTRYSIDE FINANCIAL LLCCRD 337489 · WILLIAMSVILLE, NY$73,236,814.00Regulatory AUM · August 2026
- COVE STREET CAPITAL, LLCCRD 156260 · HERMOSA BEACH, CA$93,844,293.00Regulatory AUM · August 2026
- COX GESTAO DE RECURSOS LTDA.CRD 154897$8,107,012.00Regulatory AUM · August 2026
- CQL CAPITAL MANAGEMENTCRD 319557 · CHESTERFIELD, MO$27,445,079.00Regulatory AUM · August 2026
- CRECER LLCCRD 335908$3,517.00Regulatory AUM · August 2026
- CT INVESTMENT MANAGEMENT CO., LLCCRD 160080 · NEW YORK, NY$6,592,698.00Regulatory AUM · August 2026
- CUBETECH CAPITAL, LLCCRD 284475$18,916,505.00Regulatory AUM · August 2026
- CUMBERLAND HILL CAPITAL MANAGEMENT LLCCRD 142227 · DALLAS, TX$18,150,000.00Regulatory AUM · August 2026
- CWM PARTNERS, LLCCRD 299857$59,840,472.00Regulatory AUM · August 2026
- CYNOSURE PORTFOLIO ADVISORS LLCCRD 337747 · SALT LAKE CITY, UT$5,782,490.00Regulatory AUM · August 2026
- CYSTEIN MANAGEMENT LLCCRD 290365$4,460,154.00Regulatory AUM · August 2026
- D.A.C. DAVIS INVESTMENT COUNSEL, INC.CRD 107015$12,911,532.00Regulatory AUM · August 2026
- DA INV LLCCRD 334514$28,000,000.00Regulatory AUM · August 2026
- DABA ADVISORS LLCCRD 319371 · MIAMI, FL$228,411.00Regulatory AUM · August 2026
- DARK HORSE WEALTH LLCCRD 159999 · CAZENOVIA, NY$36,628,571.00Regulatory AUM · August 2026
- DAVIS CAPITAL ADVISORS, LLCCRD 153496 · NEW YORK, NY$46,860,690.00Regulatory AUM · August 2026
- DDO ADVISORY SERVICES, LLCCRD 154944 · RHINEBECK, NY$26,833,352.00Regulatory AUM · August 2026
- DECODE FINANCE LLCCRD 331985 · PALO ALTO, CA$1,000.00Regulatory AUM · July 2026
- DEKONING AND COMPANY, LLCCRD 141605 · NEWPORT, RI$73,678,904.00Regulatory AUM · August 2026
- DERASTONE LLCCRD 153748$84,323,442.00Regulatory AUM · August 2026
- DERIVATY COCRD 310249 · WHITE PLAINS, NY$28,000,000.00Regulatory AUM · August 2026
- DERRYRUSH WEALTH MANAGEMENT LLCCRD 338575 · WEST SAYVILLE, NY$25,840,002.00Regulatory AUM · August 2026
- DESIGNER TECHNOLOGIES, INC.CRD 281879$89,228,820.00Regulatory AUM · August 2026
- DINERAZO INC.CRD 312819 · NORTH MIAMI, FL$7,500.00Regulatory AUM · July 2026
- DIOSCURI CAPITAL MANAGEMENT LLCCRD 170788$5,000,000.00Regulatory AUM · August 2026
- DIPSEA CAPITAL, LLCCRD 257787 · MILL VALLEY, CA$61,302,116.00Regulatory AUM · August 2026
- DIRECTIONAL FINANCIAL SERVICES, LLCCRD 171903 · SEATTLE, WA$11,450,102.00Regulatory AUM · August 2026
- DISCIPLINED ALPHA LLCCRD 167254 · BOSTON, MA$36,939,229.00Regulatory AUM · August 2026
- DISTRIBUTION COGNIZANT, LLCCRD 322048 · PALO ALTO, CA$5,309,565.00Regulatory AUM · August 2026
- DJ WEALTH SYSTEMS, LLCCRD 299360$44,000,000.00Regulatory AUM · August 2026
- DJA CAPITAL MANAGEMENT, LPCRD 332825 · NEW YORK, NY$32,153,255.00Regulatory AUM · August 2026
- DMLO WEALTH PLANNING, LLCCRD 316202 · LOUISVILLE, KY$30,375,862.00Regulatory AUM · August 2026
- DOMAIN MONEY ADVISORS, LLCCRD 316434 · NEW YORK, NY$43,285,190.00Regulatory AUM · August 2026
- DOMINARI SECURITIES LLCCRD 18975 · NEW YORK, NY$28,046,499.00Regulatory AUM · August 2026
- DORIAN EASON ASSET MANAGEMENT, LLCCRD 113724 · MEMPHIS, TN$27,133,847.00Regulatory AUM · August 2026